Michelle Niaz

Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision

Michelle Niaz, a solicitor and sole partner/COLP/COFA of Lewis Mitchell Solicitors, admitted three allegations: practising as a sole practitioner without authorisation after the firm lost its authorisation on 17 January 2020 (following her partner's departure) and continuing until closure on 1 September 2023; holding substantial client monies when not in an authorised body; and failing to maintain proper accounting records (missing reconciliations and accountant's reports over six years). The allegation of recklessness was withdrawn. The Tribunal found lack of integrity but no dishonesty was alleged or found. Resolved by agreed outcome, the Tribunal imposed a 9-month suspension followed by indefinite practising conditions and ordered costs of £22,140.

Duties found breached:

• Integrity
• No improper use of client money
• Accounting records, reconciliation and reports
• Hold a current practising certificate

Aggravating factors:

• Misconduct was repeated, ongoing and wide-ranging in scope
• Breaches persisted for several years (over three years unauthorised; over six years of accounting failures)
• Respondent had direct control and responsibility and was an experienced solicitor aware of her responsibilities
• Enhanced responsibilities as COLP and COFA
• Clients placed at significant risk; substantial sums of client money held while unauthorised

Mitigating factors:

• Cooperation with the SRA's investigation
• Remedial steps taken including SRA Accounts Rules training, engagement of compliance consultants and bookkeeper, improved controls
• Inexperience and unexpected loss of supervision when partners departed
• Impact of COVID-19 pandemic on ability to regularise authorisation
• No dishonesty or deliberate wrongdoing; no evidence of client loss or personal gain
• Insight and reflection; personal impact of prolonged proceedings